Stinson Leonard Street Dodd Frank


The Dodd-Frank Act has broad and deep implications that will touch every corner of financial services and multiple other industries. This site, developed and maintained by attorneys at Stinson Leonard Street, is dedicated to making sense of this complex legislation and helping businesses understand how it will affect them specifically. Our Bloggers »

Latest Dodd-Frank Posts

SEC Brings Second Whistleblower Retaliation Case


Employment, Litigation, Public Companies and Securities The SEC has brought its second case for retaliation against a whistleblower against International Game Technology. According to the SEC, the whistleblower, a director of an IGT division, started working at IGT in 2008 and received positive performance evaluations throughout his tenure, including his mid-year review in 2014. Shortly after his favorable 2014 mid-year review, […] Read more →

by   |   September 29, 2016


SEC’s Proposed Rules for Expedited Settlement May Impact Long-Standing Exception for Firm Commitment Offerings

Broker-Dealer, Public Companies and Securities The SEC has agreed to propose rules that would shorten the standard settlement cycle for most broker-dealer transactions from three business days after the trade date (also known... Read more →

by   |   September 29, 2016


SEC Enforcement Actions for Failure to Report Sales of Unregistered Securities

Litigation, Public Companies and Securities On two successive days, the SEC brought settled enforcement actions against issuers for failure to report sales of unregistered securities. Under Item 1.01 of Form 8-K, a... Read more →

by   |   September 27, 2016


SEC Sends Another Message on Section 16 Filings

Litigation, Public Companies and Securities In connection with a partial settlement of alleged fraudulent activities, the SEC charged three directors of a company associated with the fraud, but who did not participate in... Read more →

by   |   September 25, 2016